Advisor Tripped Up By "Authorized" Discretion

Attorney Alan Foxman answers readers most pressing regulatory and compliance questions, including from one advisor who ran into troubles after being given authorization by a client to make trades on their behalf.

How Barred Advisors Sell Their Books

Getting kicked out of the industry doesn’t mean an end to payments from the sale of a book of clients. Plus, knowing whether FINRA’s suitability rule applies to foreign clients.